{"id":82,"date":"2026-05-11T17:32:54","date_gmt":"2026-05-11T17:32:54","guid":{"rendered":"https:\/\/thesharebrokers.com\/upstox\/?page_id=82"},"modified":"2026-05-26T19:32:14","modified_gmt":"2026-05-26T19:32:14","slug":"compliance-disclosure","status":"publish","type":"page","link":"https:\/\/thesharebrokers.com\/upstox\/compliance-disclosure\/","title":{"rendered":"Compliance Disclosure"},"content":{"rendered":"\n<section class=\"tsb-compliance-page\">\n\n  <!-- SEO Content Header -->\n  <section class=\"tsb-compliance-hero\">\n    <div class=\"tsb-compliance-container tsb-compliance-hero-grid\">\n\n      <div>\n        <span class=\"tsb-compliance-label\">Compliance &#038; Disclosure<\/span>\n\n        <h1>Compliance Disclosure<\/h1>\n\n        <p>\n          This Compliance Disclosure explains the role, scope, limitations, and user responsibilities\n          related to The Share Brokers Financial Services for Upstox account opening and onboarding support.\n        <\/p>\n\n        <p>\n          The Share Brokers Financial Services provides assistance related to account opening, KYC guidance,\n          document support, onboarding process understanding, and basic platform guidance as an authorised\n          person associated with Upstox Securities Pvt. Ltd.\n        <\/p>\n\n        <div class=\"tsb-compliance-buttons\">\n          <a href=\"https:\/\/thesharebrokers.com\/upstox\/go\/kyc\/\" target=\"_blank\" rel=\"sponsored nofollow noopener noreferrer\" class=\"tsb-compliance-btn-primary\">\n            Open Upstox Account\n          <\/a>\n\n          <a href=\"https:\/\/thesharebrokers.com\/upstox\/contact-ap\/\" class=\"tsb-compliance-btn-secondary\">\n            Contact AP Support\n          <\/a>\n        <\/div>\n      <\/div>\n\n      <div class=\"tsb-compliance-hero-card\">\n        <h3>Authorised Person Details<\/h3>\n\n        <div class=\"tsb-compliance-detail-list\">\n          <div>\n            <strong>Authorised Person Name<\/strong>\n            <span>Pallav Kumar Jha<\/span>\n          <\/div>\n\n          <div>\n            <strong>AP Code<\/strong>\n            <span>AP2513035551<\/span>\n          <\/div>\n\n          <div>\n            <strong>Associated Broker<\/strong>\n            <span>Upstox Securities Pvt. Ltd.<\/span>\n          <\/div>\n\n          <div>\n            <strong>Website<\/strong>\n            <span>thesharebrokers.com<\/span>\n          <\/div>\n        <\/div>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n  <!-- Disclosure -->\n  <section class=\"tsb-compliance-section\">\n    <div class=\"tsb-compliance-container\">\n\n      <div class=\"tsb-compliance-center\">\n        <span class=\"tsb-compliance-label\">Important Information<\/span>\n        <h2>Role of The Share Brokers Financial Services<\/h2>\n        <p>\n          The Share Brokers Financial Services helps users understand the Upstox account opening process,\n          required documents, KYC steps, onboarding flow, account activation process, and basic platform\n          information.\n        <\/p>\n      <\/div>\n\n      <div class=\"tsb-compliance-grid\">\n        <div class=\"tsb-compliance-card\">\n          <span>01<\/span>\n          <h3>Account Opening Support<\/h3>\n          <p>We help users understand the online Upstox Demat and Trading account opening process.<\/p>\n        <\/div>\n\n        <div class=\"tsb-compliance-card\">\n          <span>02<\/span>\n          <h3>KYC Guidance<\/h3>\n          <p>We guide users about PAN, Aadhaar, bank details, documents, e-sign, and KYC-related steps.<\/p>\n        <\/div>\n\n        <div class=\"tsb-compliance-card\">\n          <span>03<\/span>\n          <h3>Onboarding Help<\/h3>\n          <p>We assist users in understanding the onboarding flow, activation steps, and basic platform access.<\/p>\n        <\/div>\n\n        <div class=\"tsb-compliance-card\">\n          <span>04<\/span>\n          <h3>Basic Platform Guidance<\/h3>\n          <p>We may explain basic app or web platform navigation, account features, and support directions.<\/p>\n        <\/div>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n  <!-- We Do Not Provide -->\n  <section class=\"tsb-compliance-section tsb-compliance-soft-bg\">\n    <div class=\"tsb-compliance-container tsb-compliance-two-col\">\n\n      <div>\n        <span class=\"tsb-compliance-label\">Scope Limitation<\/span>\n        <h2>Services We Do Not Provide<\/h2>\n        <p>\n          The Share Brokers Financial Services does not provide investment advisory, trading advisory,\n          portfolio management, or guaranteed return services. Users must make their own trading and\n          investment decisions.\n        <\/p>\n      <\/div>\n\n      <div class=\"tsb-compliance-point-card\">\n        <h3>We Do Not Provide<\/h3>\n        <ul>\n          <li>Stock tips<\/li>\n          <li>Trading calls<\/li>\n          <li>Intraday tips<\/li>\n          <li>F&amp;O tips<\/li>\n          <li>Options tips<\/li>\n          <li>Investment advice<\/li>\n          <li>Research recommendations<\/li>\n          <li>Portfolio management services<\/li>\n          <li>Guaranteed return services<\/li>\n          <li>Trading on behalf of users<\/li>\n          <li>Fund handling or money collection in personal accounts<\/li>\n        <\/ul>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n  <!-- Risk Disclosure -->\n  <section class=\"tsb-compliance-risk\">\n    <div class=\"tsb-compliance-container\">\n\n      <div class=\"tsb-compliance-center\">\n        <span class=\"tsb-compliance-label-dark\">Market Risk Disclosure<\/span>\n        <h2>Trading and Investing Involves Risk<\/h2>\n        <p>\n          Securities market investments are subject to market risks. Prices may move up or down,\n          and users may lose money. Users should understand risk, charges, product features,\n          margin rules, and regulatory requirements before trading or investing.\n        <\/p>\n      <\/div>\n\n      <div class=\"tsb-compliance-risk-grid\">\n        <div>Market prices can move quickly<\/div>\n        <div>Losses can occur in trading<\/div>\n        <div>F&amp;O and intraday trading involve higher risk<\/div>\n        <div>Margin can increase both profit and loss<\/div>\n        <div>Past performance does not guarantee future returns<\/div>\n        <div>Charges and taxes can affect net returns<\/div>\n        <div>Users should read all risk disclosures<\/div>\n        <div>Users should trade only after understanding the product<\/div>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n  <!-- User Responsibility -->\n  <section class=\"tsb-compliance-section\">\n    <div class=\"tsb-compliance-container tsb-compliance-two-col\">\n\n      <div class=\"tsb-compliance-point-card\">\n        <h3>User Responsibilities<\/h3>\n        <ul>\n          <li>Use only official Upstox account opening and login processes.<\/li>\n          <li>Provide correct PAN, Aadhaar, bank, and KYC details.<\/li>\n          <li>Verify all charges from the official Upstox pricing page.<\/li>\n          <li>Read risk disclosures before trading or investing.<\/li>\n          <li>Trade only from your own account.<\/li>\n          <li>Do not share OTP, password, PIN, or login credentials.<\/li>\n          <li>Do not transfer funds to any personal bank account.<\/li>\n          <li>Make your own financial decisions after understanding risks.<\/li>\n        <\/ul>\n      <\/div>\n\n      <div>\n        <span class=\"tsb-compliance-label\">User Safety<\/span>\n        <h2>Account Safety and Responsible Usage<\/h2>\n        <p>\n          Users are responsible for protecting their account credentials, mobile number, email,\n          OTP, password, PIN, and device access. The Share Brokers Financial Services will never\n          ask users to share account passwords, OTPs, PINs, or full login credentials.\n        <\/p>\n\n        <p>\n          Users should avoid unofficial links, unknown contacts, social media tips, guaranteed\n          return claims, and requests to transfer money to personal bank accounts.\n        <\/p>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n  <!-- Charges Disclosure -->\n  <section class=\"tsb-compliance-section tsb-compliance-soft-bg\">\n    <div class=\"tsb-compliance-container\">\n\n      <div class=\"tsb-compliance-center\">\n        <span class=\"tsb-compliance-label\">Charges Disclosure<\/span>\n        <h2>Brokerage, Charges and Fees Disclosure<\/h2>\n        <p>\n          Brokerage, AMC, DP charges, exchange charges, SEBI charges, GST, STT\/CTT,\n          stamp duty, processing fees, and other applicable charges may apply as per\n          Upstox, exchange, regulatory, and government rules.\n        <\/p>\n      <\/div>\n\n      <div class=\"tsb-compliance-charge-grid\">\n        <div>Brokerage<\/div>\n        <div>AMC<\/div>\n        <div>DP Charges<\/div>\n        <div>GST<\/div>\n        <div>STT\/CTT<\/div>\n        <div>Exchange Charges<\/div>\n        <div>SEBI Charges<\/div>\n        <div>Stamp Duty<\/div>\n        <div>Processing Fees<\/div>\n        <div>Other Applicable Charges<\/div>\n      <\/div>\n\n      <p class=\"tsb-compliance-note\">\n        Users should always verify the latest official Upstox pricing, brokerage calculator,\n        account charges, and regulatory charges before opening an account or placing trades.\n      <\/p>\n\n    <\/div>\n  <\/section>\n\n  <!-- AP Disclosure -->\n  <section class=\"tsb-compliance-section\">\n    <div class=\"tsb-compliance-container tsb-compliance-two-col\">\n\n      <div>\n        <span class=\"tsb-compliance-label\">Authorised Person Disclosure<\/span>\n        <h2>Relationship with Upstox<\/h2>\n        <p>\n          The Share Brokers Financial Services operates as an authorised person associated with\n          Upstox Securities Pvt. Ltd. for account opening and onboarding-related support.\n        <\/p>\n\n        <p>\n          Final account approval, KYC verification, trading access, platform access, charges,\n          account modification, account closure, and broker-level support are handled through\n          Upstox\u2019s official systems and processes.\n        <\/p>\n      <\/div>\n\n      <div class=\"tsb-compliance-point-card\">\n        <h3>Important Disclosure<\/h3>\n        <ul>\n          <li>We are not a stock exchange.<\/li>\n          <li>We are not a depository.<\/li>\n          <li>We are not an investment advisor.<\/li>\n          <li>We are not a research analyst.<\/li>\n          <li>We do not manage user funds.<\/li>\n          <li>We do not execute trades for users.<\/li>\n          <li>We do not promise profits or returns.<\/li>\n        <\/ul>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n  <!-- Internal Links -->\n  <section class=\"tsb-compliance-section tsb-compliance-soft-bg\">\n    <div class=\"tsb-compliance-container tsb-compliance-faq-container\">\n\n      <div class=\"tsb-compliance-center\">\n        <span class=\"tsb-compliance-label\">Helpful Links<\/span>\n        <h2>Important Upstox Pages<\/h2>\n      <\/div>\n\n      <div class=\"tsb-compliance-links\">\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/open-demat-account\/\">Open Demat Account<\/a>\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/account-opening-process\/\">Account Opening Process<\/a>\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/documents-required\/\">Documents Required<\/a>\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/upstox-brokerage-charges\/\">Upstox Brokerage Charges<\/a>\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/intraday-trading\/\">Intraday Trading<\/a>\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/futures-options-trading\/\">Futures &amp; Options Trading<\/a>\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/verify-authorised-person\/\">Verify Authorised Person<\/a>\n        <a href=\"https:\/\/thesharebrokers.com\/upstox\/faqs\/\">Upstox FAQs<\/a>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n  <!-- FAQ -->\n  <section class=\"tsb-compliance-section\">\n    <div class=\"tsb-compliance-container tsb-compliance-faq-container\">\n\n      <div class=\"tsb-compliance-center\">\n        <span class=\"tsb-compliance-label\">FAQs<\/span>\n        <h2>Compliance Disclosure FAQs<\/h2>\n      <\/div>\n\n      <details class=\"tsb-compliance-faq\" open>\n        <summary>1. What is this compliance disclosure page about?<\/summary>\n        <p>This page explains the role, limitations, risk disclosures, user responsibilities, and support scope of The Share Brokers Financial Services for Upstox account opening and onboarding support.<\/p>\n      <\/details>\n\n      <details class=\"tsb-compliance-faq\">\n        <summary>2. Is The Share Brokers Financial Services a stock broker?<\/summary>\n        <p>No. The Share Brokers Financial Services is not a stock broker. It provides account opening and onboarding support as an authorised person associated with Upstox Securities Pvt. Ltd.<\/p>\n      <\/details>\n\n      <details class=\"tsb-compliance-faq\">\n        <summary>3. Does The Share Brokers provide investment advice?<\/summary>\n        <p>No. The Share Brokers Financial Services does not provide investment advice, stock tips, trading calls, research recommendations, portfolio management, or guaranteed return services.<\/p>\n      <\/details>\n\n      <details class=\"tsb-compliance-faq\">\n        <summary>4. Can The Share Brokers trade on my behalf?<\/summary>\n        <p>No. Users must trade only from their own Upstox account. The Share Brokers Financial Services does not trade on behalf of users.<\/p>\n      <\/details>\n\n      <details class=\"tsb-compliance-faq\">\n        <summary>5. Can I share my OTP, password or PIN?<\/summary>\n        <p>No. Users should never share OTP, password, PIN, login details, or sensitive account credentials with anyone.<\/p>\n      <\/details>\n\n      <details class=\"tsb-compliance-faq\">\n        <summary>6. Are trading and investing risk-free?<\/summary>\n        <p>No. Trading and investing are subject to market risks. Users may lose money and should understand product features, charges, risks, and regulatory requirements before trading or investing.<\/p>\n      <\/details>\n\n      <details class=\"tsb-compliance-faq\">\n        <summary>7. Who approves my Upstox account?<\/summary>\n        <p>Final account approval, KYC verification, and activation are completed through Upstox\u2019s official systems and processes.<\/p>\n      <\/details>\n\n      <details class=\"tsb-compliance-faq\">\n        <summary>8. Does The Share Brokers collect trading funds?<\/summary>\n        <p>No. Users should not transfer trading or investment funds to any personal bank account. Users should use only official Upstox payment and fund transfer methods.<\/p>\n      <\/details>\n\n      <div class=\"tsb-compliance-final-cta\">\n        <h2>Need Help with Upstox Account Opening?<\/h2>\n        <p>\n          Get onboarding guidance for Upstox account opening, KYC, documents, and account activation support.\n        <\/p>\n\n        <div class=\"tsb-compliance-buttons tsb-compliance-center-buttons\">\n          <a href=\"https:\/\/thesharebrokers.com\/upstox\/go\/kyc\/\" target=\"_blank\" rel=\"sponsored nofollow noopener noreferrer\" class=\"tsb-compliance-btn-white\">\n            Open Upstox Account\n          <\/a>\n\n          <a href=\"https:\/\/thesharebrokers.com\/upstox\/contact-ap\/\" class=\"tsb-compliance-btn-outline\">\n            Contact AP Support\n          <\/a>\n        <\/div>\n\n        <p class=\"tsb-compliance-final-note\">\n          The Share Brokers Financial Services assists with account opening and onboarding support only.\n          We do not provide stock tips, trading calls, investment advice, portfolio management, or guaranteed return services.\n        <\/p>\n      <\/div>\n\n    <\/div>\n  <\/section>\n\n<\/section>\n\n<style>\n  .tsb-compliance-page {\n    --purple: #41246d;\n    --dark: #1c0d34;\n    --soft: #f8f5ff;\n    --border: #d8c9ff;\n    --heading: #1f1235;\n    --text: #52525b;\n    width: 100%;\n    overflow-x: hidden;\n    font-family: inherit;\n  }\n\n  .tsb-compliance-page * {\n    box-sizing: border-box;\n  }\n\n  .tsb-compliance-container {\n    width: 100%;\n    max-width: 1200px;\n    margin: 0 auto;\n  }\n\n  .tsb-compliance-hero,\n  .tsb-compliance-section,\n  .tsb-compliance-risk {\n    padding: 75px 18px;\n  }\n\n  .tsb-compliance-hero {\n    background: linear-gradient(135deg, #ffffff 0%, var(--soft) 100%);\n  }\n\n  .tsb-compliance-soft-bg {\n    background: linear-gradient(180deg, #ffffff 0%, var(--soft) 100%);\n  }\n\n  .tsb-compliance-hero-grid,\n  .tsb-compliance-two-col {\n    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